STANDARD PRE-QUALIFICATION DOCUMENT FOR THE PROCUREMENT OF WORKS (MAJOR CONTRACTS)

Transcription

1 STANDARD PRE-QUALIFICATION DOCUMENT FOR THE PROCUREMENT OF WORKS (MAJOR CONTRACTS) Pre-qualification Ref: Issue Date: [Insert Title of Project] [Insert Reference] [Insert Date] Public Procurement Authority Accra, Ghana

2 Letter of Invitation for Pre-Qualification [Insert project name] Ref: [Insert reference] 1. This invitation for Pre-Qualification follows the General Procurement Notice that appeared in [insert media used] and was posted on the Public Procurement Authority (PPA) website gov.gh. 2. [insert full name of Employer] now invites Applications for Pre-qualification for [insert project name]. 3. As per the guidance in the Instructions to Applicants, in order to Pre-Qualify Applicants must demonstrate sufficient capacity to undertake the construction of the Works. [Insert name of Employer] intends to solicit tenders for [insert project name]. 5. [insert name of Employer] will issue Tender Documents to those Pre-Qualified tenderers that demonstrate sufficient capacity to implement the Works. It is expected that Invitations for Tenders for [insert project name] will be issued in [insert date]. 6. Pre-qualification will be conducted through pre-qualification procedures described in this Pre-qualification for Works Document (PQW) as set out in the PPA guidelines. 7. An electronic copy of the Pre-qualification Document (PQD) in English language may be downloaded from the PPA website. Prospective contracting firms interested in submitting Applications for pre-qualification should submit an with a request letter attached giving full contact details of their firm to [insert address(es)] 8. Applications for Pre-Qualification must be submitted in sealed envelopes, delivered to the address below by [insert date and time]. Applications received after this time and date shall not be considered and shall be returned unopened. 9. Each Application must be clearly marked Pre-Qualification Application for [insert project title]. [Insert Full Address of Employer]

3 Contents PART 1 Pre-qualification Procedures... 1 Section I. Instructions to Applicants... 1 Section II. Pre-Qualification Data Sheet Section III. Qualification Criteria and Requirements Section IV. Application Forms PART 2 Works Requirements Section V. Scope of Works... 45

4 PART 1 Pre-qualification Procedures

5 Section I. Instructions to Applicants 1 Section I. Instructions to Applicants Table of Clauses A. General Scope of Application Source of Funds Corrupt and Fraudulent Practice Eligible Applicants Eligible Materials, Equipment, and Services... 5 B. Contents of the Pre-Qualification Document Sections of Pre-qualification Document Clarification of Pre-qualification Document Amendment of Pre-qualification Document... 6 C. Preparation of Applications Cost of Applications Language of Application Documents Comprising the Application Application Submission Form Documents Establishing the Eligibility of the Applicant Documents Establishing Qualifications of the Applicant Signing of the Application and Number of Copies... 7 D. Submission of Applications Sealing and Identification of Applications Deadline for Submission of Applications Late Applications Opening of Applications... 8 E. Procedures for Evaluation of Applications Confidentiality Clarification of Applications Responsiveness of Applications Margin of Preference Subcontractors... 8

6 Section I. Instructions to Applicants 2 F. Evaluation of Applications and Pre-qualification of Applicants Evaluation of Applications Employer s Right to Accept or Reject Applications Pre-qualification of Applicants Notification of Pre-qualification Invitation to Tender Changes in Qualifications of Applicants Validity of Pre-qualification Pre-qualification Inquiries Pre-qualification Challenge... 10

7 Section I. Instructions to Applicants 3 Section I. Instructions to Applicants A. General 1. Scope of Application 1.1 In connection with the Invitation for Pre-qualification indicated in Section II, Pre-qualification Data Sheet (PDS), the Employer, as defined in the PDS, issues this Pre-qualification Document (PQD) to Applicants interested in tendering for the works described in Section V, Scope of Works. The number of contracts, the name and identification of each contract, and the number corresponding to this pre-qualification, are provided in the PDS. 2. Source of Funds 2.1 The Procurement Entity (hereinafter referred to as the Employer ) named in the PDS intends to apply a part of its budgetary allocation to payments under the contract(s) for which this prequalification is issued. 3. Corrupt and Fraudulent Practice 3.1 It is the policy of the Government of Ghana to require that Procurement Entities as well as tenderers/suppliers/contractors under contracts financed from the public funds of the Republic of Ghana observe the highest standard of ethics during the procurement and execution of such contracts. In pursuance of this policy, the Public Procurement Authority: a) defines, for the purposes of this provision, the terms set forth below as follows: i) corrupt practice means the offering, giving, receiving, or soliciting of anything of value to influence the action of a public official in the procurement process or in contract execution; and ii) fraudulent practice means a misrepresentation of facts in order to influence a procurement process or the execution of a contract to the detriment of the Borrower, and includes collusive practices among tenderers (prior to or after tender submission) designed to establish tender prices at artificial, non-competitive levels and to deprive the Borrower of the benefits of free and open competition b) or the appropriate Tender Review Board will not accept a Procurement Entity s proposal for award if it determines that the tenderer recommended for award has engaged in corrupt or fraudulent practices in competing for the contract in question; and 4. Eligible Applicants c) will declare a firm ineligible, either indefinitely or for a stated period of time, to be awarded a contract financed from the Public funds of Ghana if it at any time determines that the firm has engaged in corrupt or fraudulent practices in competing for, or in executing, such a contract. 4.1 An Applicant shall be a natural person, private entity, governmentowned legal entity, subject to ITA 4.5, or any combination of such entities supported by a letter of intent to enter into an agreement or under an existing agreement in association in the form of a joint venture ( JV ) or a consortium. In these cases, (i) all partners shall be jointly and severally liable, and (ii) the limit on the number of partners, if any, shall be specified in the PDS.

8 Section I. Instructions to Applicants The eligibility criteria listed in this Clause 4 shall apply to the Applicant, including the parties constituting the Applicant (i.e., its proposed partners, subcontractors or suppliers for any part of the contract including related services). 4.3 An Applicant may have the nationality of any country, subject to the restrictions specified in the paragraphs below. An Applicant shall be deemed to have the nationality of a country if the Applicant is a citizen, or is constituted, incorporated, or registered in, and operates in conformity with the provisions of the laws of that country, as evidenced by its Articles of Incorporation or Documents of Constitution, and its Registration Documents. 4.4 Applicants and all parties constituting the Applicant shall not have a conflict of interest. All Applicants found to have a conflict of interest shall be disqualified. Applicants shall be considered to have a conflict of interest with one or more parties in this prequalification process, if: (a) they have at least one controlling partner in common; or (b) they have the same legal representative for purposes of this pre-qualification; or (c) they have a relationship with each other, directly or through common third parties, that puts them in a position to have access to information about or influence on the prequalification of another Applicant, or influence the decisions of the Employer regarding this pre-qualification process; or (d) they participate in more than one Application in this prequalification process; participation by an Applicant in more than one Application will result in the disqualification of all Applications in which the party is involved; however, this provision does not limit the inclusion of the same subcontractor in more than one Application; or (e) they are, or have been associated in the past, with a firm which has been engaged to provide consulting services for the preparation of the design, specifications, or other documents to be used for the performance of the works that are the subject of this pre-qualification; or (f) they or any of their affiliates have been hired (or are proposed to be hired) by the Employer as Engineer for the works in question; or (g) they have a business or family relationship with a member of the Employer s board of directors or staff who is directly or indirectly involved in any part of (i) the preparation of these Pre-Qualification Documents, (ii) the pre-qualification selection process, or (iii) supervision of the contract, unless the conflict stemming from this relationship has been resolved in a manner acceptable to the Employer. (h) Applicants have an obligation to disclose any situation of actual or potential conflict that impacts their capacity to serve the best interest of the Employer, or that may reasonably be perceived as having this effect. Failure to disclose said situations may lead to the disqualification of the Applicant or termination of the contract.

9 Section I. Instructions to Applicants 5 5. Eligible Materials, Equipment, and Services 4.5 Government-owned entities in the Employer s country may participate only if they can establish that they (i) are legally and financially autonomous, (ii) operate under commercial law, and (iii) are not a dependent agency of the Employer. 4.6 Applicants and their associates and personnel shall not be any person or firm under a declaration of ineligibility for fraud and corruption in accordance with ITA 3.1 above or that has been declared ineligible for participation in a procurement in accordance with Sub-Clause 3.1 (c). This would also remove from eligibility for participation in a procurement any firm that is organized in or has its principal place of business or a significant portion of its operations in any country that is subject to sanction or restriction by law or official regulation of the Republic of Ghana. The Public Procure Authority maintains a list of countries from which tenderers, goods, and services are not eligible to participate in procurement financed with the public funds of the republic of Ghana. The list is regularly updated and can be obtained from the offices of the Public Procurement Authority in Accra and on their website: However, the countries subject to these sanctions and restrictions are subject to change from time to time and it is necessary to refer to the web sites above for the most current listing of sanctioned and restricted countries. 4.7 An Applicant not otherwise made ineligible for a reason described in ITA 4.6 shall be excluded if: (a) as a matter of law or official regulation, the Government prohibits commercial relations with the country of the Applicant, its associates or their personnel; (b) by an act of compliance with a decision of the United Nations Security Council taken under Chapter VII of the Charter of the United Nations, the Government prohibits any import of goods from the country of the Applicant, its associates or their personnel or any payments to persons or entities in such country; or (c) such Applicant, its associates, subcontractors or their respective personnel are otherwise deemed ineligible by PPA pursuant to any policy or guidance that may, from time to time, be in effect as posted on the PPA website at Applicants and all parties constituting the Applicant shall provide such evidence of their continued eligibility in a manner satisfactory to Employer, as it shall reasonably request. 5.1 The materials, equipment and services to be supplied under the contract and financed by the Employer may have their origin in any country subject to the same restrictions specified for Applicants and their associates and personnel set forth in ITA 4.6 and For purposes of ITA 5.1 above, origin means the place where the materials and equipment are mined, grown, produced, manufactured or processed, and from which the services are provided. Materials and equipment are produced when, through manufacturing, processing, or substantial or major assembling of components, a commercially recognized product results that differs substantially in its basic characteristics or in purpose or

10 Section I. Instructions to Applicants 6 6. Sections of Pre-qualification Document 7. Clarification of Pre-qualification Document 8. Amendment of Pre-qualification Document utility from its underlying components. 5.3 The origin of materials, equipment and services is distinct from the nationality of the Applicant. B. Contents of the Pre-Qualification Document 6.1 The document for the Pre-Qualification of Applicants (hereinafter called Pre-Qualification Document) consists of parts 1 and 2 which comprise all the Sections indicated below, and should be read in conjunction with any amendment issued in accordance with ITA 8. PART 1 Pre-Qualification Procedures Section I. Instructions to Applicants (ITA) Section II. Pre-Qualification Data Sheet (PDS) Section III Qualification Criteria and Requirements Section IV. Application Forms PART 2 Works Requirements Section V. Scope of Works The Invitation for Pre-Qualification issued by the Employer is not part of the Pre-Qualification Document. 6.2 Employer accepts no responsibility for the completeness of the Pre-qualification Document and its addenda unless they were obtained directly from Employer. 6.3 The Applicant is expected to examine all instructions, forms, and terms in the Pre-qualification Document and to furnish all information or documentation required by the Pre-qualification Document. Failure to provide all the information or documentation as requested may lead to the rejection of the Application at the discretion of Employer. 7.1 A prospective Applicant requiring any clarification of the Prequalification Document shall contact Employer in writing at the Employer s address indicated in the PDS. Employer shall respond in writing to any request for clarification, provided that such request is received no later than the number of days indicated in the PDS prior to the deadline for submission of Applications. Employer shall respond within the time period specified in the PDS. Copies of the Employer s response shall be forwarded to all prospective Applicants, without identifying its source. The response shall be posted on the Employer s website, including a description of the inquiry, but without identifying its source. Should Employer deem it necessary to amend the Pre-qualification Document as a result of a clarification, it shall do so following the procedure under ITA 8 and in accordance with the provisions of ITA At any time prior to the deadline for submission of Applications, Employer may amend the Pre-qualification Document by issuing addenda. 8.2 Any addendum issued shall be part of the Pre-qualification Document and shall be forwarded to prospective Applicants who have contacted the Employer and shall also be posted on Employer s website. 8.3 To give prospective Applicants reasonable time to take an addendum into account in preparing their Applications, Employer

11 Section I. Instructions to Applicants 7 9. Cost of Applications 10. Language of Application 11. Documents Comprising the Application 12. Application Submission Form 13. Documents Establishing the Eligibility of the Applicant 14. Documents Establishing Qualifications of the Applicant 15. Signing of the Application and Number of Copies 16. Sealing and Identification of Applications may, at its discretion, extend the deadline for the submission of Applications. C. Preparation of Applications 9.1 The Applicant shall bear all costs associated with the preparation and submission of its Application. Employer will, in no case, be responsible or liable for those costs, regardless of the conduct or outcome of the pre-qualification process The Application, as well as all correspondence and documents relating to the Application exchanged by the Applicant and the Employer, shall be written in English and, at the discretion of the Employer, in another language if so specified in the PDS. Supporting documents and printed literature that are part of the Application may be in another language provided they are accompanied by an accurate translation of the relevant passages in English, in which case, for purposes of interpretation of the Application, the English version shall govern The Application shall comprise the following: (a) Application Submission Form, in accordance with ITA 12; (b) documentary evidence establishing the Applicant s eligibility to pre-qualify, in accordance with ITA 13; (c) documentary evidence establishing the Applicant s qualifications, in accordance with ITA The Applicant shall prepare an Application Submission Sheet using the form furnished in Section IV, Application Forms. This Form must be completed without any alteration to its format To establish its eligibility in accordance with ITA 4, the Applicant shall complete the eligibility declarations in the Application Submission Form and Forms ELI (eligibility) 1.1 and 1.2, included in Section IV, Application Forms To establish its qualifications to perform the contract(s) in accordance with Section III, Qualification Criteria and Requirements, the Applicant shall provide the information requested in the corresponding Information Sheets included in Section IV, Application Forms The Applicant shall prepare one original of the documents comprising the Application as described in ITA 11 and clearly mark it ORIGINAL. The original of the Application shall be typed or written in indelible ink and shall be signed by a person duly authorized to sign on behalf of the Applicant The Applicant shall submit copies of the signed original Application, in the number specified in the PDS, and clearly mark them COPY. In the event of any discrepancy between the original and the copies, the original shall prevail. D. Submission of Applications 16.1 The Applicant shall enclose the original and the copies of the Application in a sealed envelope that shall: (a) (b) (c) bear the name and address of the Applicant; be addressed to Employer, in accordance with ITA 17.1; and bear the specific identification of this pre-qualification

12 Section I. Instructions to Applicants Deadline for Submission of Applications process indicated in the PDS The Employer will accept no responsibility for not processing any envelope that was not identified as required Applicants shall submit their Applications by mail or by courier or by hand. Applications shall be received by Employer at the address and no later than the deadline indicated in the PDS. Applicants shall have the option of submitting their Application electronically if so specified in the PDS. A receipt will be given for all Applications submitted The Employer may, at its discretion, extend the deadline for the submission of Applications by amending the Pre-qualification Document in accordance with ITA 8, in which case all rights and obligations of Employer and the Applicants subject to the previous deadline shall thereafter be subject to the deadline as extended. 18. Late Applications 18.1 Any Application received by Employer after the deadline for submission of Applications prescribed in accordance with ITA 17 will be treated as indicated in the PDS. 19. Opening of Applications 19.1 The Applications shall NOT be publicly opened. E. Procedures for Evaluation of Applications 20. Confidentiality 20.1 Information relating to the evaluation of Applications, and recommendation for pre-qualification, shall not be disclosed to Applicants or any other persons not officially concerned with such process until the notification of pre-qualification is made to all Applicants. 21. Clarification of Applications 22. Responsiveness of Applications 23. Margin of Preference 20.2 From the deadline for submission of Applications to the time of notification of the results of the pre-qualification in accordance with ITA 28, any Applicant that wishes to contact Employer on any matter related to the pre-qualification process, may do so but only in writing To assist in the evaluation of Applications, Employer may, at its discretion, ask any Applicant for a clarification of its Application which shall be submitted within a reasonable period of time stated in the request for such clarification. Any request for clarification and all clarifications shall be in writing If an Applicant does not provide clarifications of the information requested by the date and time set in Employer s request for clarification, its Application may be rejected Employer may reject any Application which is not responsive to the s of the pre-qualification document A margin of preference for domestic Applicants shall be as specified in the PDS. 24. Subcontractors 24.1 Applicants planning to subcontract any of the key activities indicated in Section III, Qualification Criteria and Requirements, shall specify the activity(ies) or parts of the works to be subcontracted in the Application Submission Form. Applicants shall clearly identify the proposed specialist subcontractors in Forms ELI-1.2 and EXP (experience)-4.2(b) in Section IV. Such proposed specialist subcontractor(s) shall meet the corresponding qualification s specified in Section III, Qualification Criteria and Requirements.

13 Section I. Instructions to Applicants Evaluation of Applications 26. Employer s Right to Accept or Reject Applications 27. Pre-qualification of Applicants 28. Notification of Pre-qualification 29. Invitation to Tender 30. Changes in Qualifications of Since the pre-qualification process involves the approval of the entire team, the Applicant shall not be allowed to replace its subcontractor(s) after the pre-qualification. However, a prequalified Applicant would be permitted to introduce new subcontractors at the time of submission of its offer at the discretion of Employer At this time, Employer does not intend to execute certain specific parts of the Works by subcontractors selected in advance by the Employer (Nominated Subcontractors) unless otherwise stated in the PDS. F. Evaluation of Applications and Prequalification of Applicants 25.1 The Employer shall use the factors, methods, criteria, and s defined in Section III, Qualification Criteria and Requirements to evaluate the qualifications of the Applicants. The use of other methods, criteria, or s shall not be permitted. Employer reserves the right to waive minor deviations in the qualification criteria if they do not materially affect the capability of an Applicant to perform the contract Only the qualifications of subcontractors that have been identified in the Application may be considered in the evaluation of an Applicant. However, the general experience and financial resources of subcontractors may not be added to those of the Applicant for purposes of pre-qualification of the Applicant. The general experience and financial resources of the partners in a consortium, joint venture or association shall be evaluated together as the joint and several liability partners In case of multiple contracts, Employer shall pre-qualify each Applicant for the maximum number and types of contracts for which the Applicant meets the appropriate aggregate s of such contracts, as specified in Section III, Qualification Criteria and Requirements, and in the PDS The Employer reserves the right to accept or reject any Application, and to annul the pre-qualification process and reject all Applications at any time, without thereby incurring any liability to Applicants All Applicants whose Applications have met or exceeded ( passed ) the specified threshold s will, to the exclusion of all others, be pre-qualified by Employer Once Employer has completed the evaluation of the Applications, it shall notify all Applicants in writing of the names of those Applicants who have been pre-qualified. The list of pre-qualified Applicants shall also be posted in the Employer s website Employer shall invite tenders from all of the Applicants that have been pre-qualified Tenderers shall be required to provide a Tender Security acceptable to Employer in the form and an amount to be specified in the Tender Documents. The successful Tenderer shall be required to provide a Performance Security to be specified in the Tender Documents Any change in the structure or formation of an Applicant after being pre-qualified in accordance with ITA 27 and invited to bid

14 Section I. Instructions to Applicants 10 Applicants 31. Validity of Prequalification 32. Pre-qualification Inquiries 33. Pre-qualification Challenge shall be subject to a written approval of the Employer prior to the deadline for submission of Tenders. Such approval shall be denied if, as a consequence of the change, the Applicant no longer substantially meets the qualification criteria set forth in Section III, Qualification Criteria and Requirements, or if in the opinion of Employer, a substantial reduction in competition may result. Any such changes shall be submitted to Employer not later than 14 days after the date of the Invitation for Tenders The pre-qualification through this procurement process shall be valid for tenders related to sectors indicated in the PDS within the number of months indicated in the PDS. The Employer shall make its best effort to initiate the tendering process within this period. The Employer makes no guarantee that any tender shall be issued during this period, and shall not be liable for any costs to any Applicant if no tenders are issued. Thereafter, all pre-qualifications will expire and a new pre-qualification process may be conducted If after notification of pre-qualification, any unsuccessful Applicant wishes to ascertain the reasons on which its Application was not pre-qualified, it should address its request to Employer after such notification at the address indicated in the PDS. No later than 5 working days after receipt of the request, Employer shall respond either in writing and/or in a debriefing meeting at the option of Employer. The requesting Applicant shall bear all the costs of attending such a debriefing Any pre-qualification challenges resulting from any unsuccessful Applicant claiming to have suffered loss or injury due to a breach of duty by the Employer under the Procurement Guidelines shall be subject to PPA s tender challenge process in accordance with provisions in the PPA Act 2003, Act 663.

15 Section II. Pre-qualification Data Sheet 11 Section II. Pre-Qualification Data Sheet A. General ITA 1.1 ITA 1.1 ITA 4.1 The Employer is: [Insert Full Name and Address of Employer] [indicate complete contract name, number, and any other identification] Contract Description: [Insert brief description of project] (i) JV/Consortium: Entities forming the JV shall include not more than [insert number] construction firms. B. Contents of the Pre-qualification Document ITA 7.1 ITA 7.1 For clarification purposes-: [insert Employer s Address] Requests for Clarification shall be received by the Employer not later than [insert date] and the Employer shall respond no later than [insert date and time]. C. Preparation of Applications ITA 10.1 ITA 15.2 The language of the Application as well as of all correspondence is English. In addition to one original in English, the number of copies to be submitted with the Application is: [insert number] copies in English. English versions of the submission shall also be provided on a CD in PDF format. D. Submission of Applications ITA 16.1(c) ITA 17.1 ITA 17.1 ITA 18.1 The specific identification of the Pre-Qualification process is as follows: [insert specific identification] Date and Time of Submission is [insert date and time]. For Application submission purposes only, to: [insert full address of Employer] [indicate whether or not provision will be made for electronic submission] Late Applications shall be declared late, rejected and returned unopened to the Applicants. E. Procedures for Evaluation of Applications ITA 24.2 ITA 25.3 ITA 31.1 At this time, the Employer may select Nominated Sub-Contractors for such works as: [specify] Applicants shall be evaluated for [specify] only. Pre-Qualification through this process shall be valid for tenders related to [insert name of project]. This Pre-Qualification is valid until [insert date].

16 Section II. Pre-qualification Data Sheet 12 ITA 32.1 For inquiry purposes only, to: [insert address and contact details of Employer]

17 Section III. Qualification Criteria and Requirements 13 Section III. Qualification Criteria and Requirements This Section contains all the methods, criteria, and s that the Employer shall use to evaluate Applications. The information to be provided in relation to each and the definitions of the corresponding terms are included in the respective Application Forms. Contents 1. Eligibility Historical Contract Non-Performance Financial Situation Contractor Organization and Key Personnel Key Equipment: Estimated Minimum Requirements... 25

18 Section III. Qualification Criteria and Requirements 14 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 1. Eligibility 1.1 Nationality Nationality in accordance with ITA Sub-Clause 4.3 Existing or intended JV/Consortium must meet N/A Forms ELI 1.1 and 1.2, with attachments 1.2 Conflict of Interest No conflicts of interest per ITA Sub-Clause 4.4 Existing or intended JV/Consortium must meet N/A Application Submission Form 1.3 Ineligibility Not having been declared ineligible by MCC, as described in ITA Sub- Clause 4.6 and ITA Sub- Clause 3.1(c) Existing JV/Consortium must meet N/A Application Submission Form 1.4 Government Owned Entity Applicant required to meet conditions of ITA Sub- Clause 4.5 N/A Forms ELI 1.1 and 1.2, with attachments

19 Section III. Qualification Criteria and Requirements 15 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 1.5 United Nations resolution or local government law Not having been excluded as a result of the Government of Ghana laws or official regulations, or by an act of compliance with UN Security Council resolution, in accordance with ITA 4.7 N/A Forms ELI 1.1 and 1.2, with attachments

20 Section III. Qualification Criteria and Requirements 16 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 2. Historical Contract Non-Performance 2.1 History of Non- Performing Contracts Non-performance of a contract did not occur within the last five years (5) prior to the deadline for Application submission based on all information on fully settled disputes or litigation. A fully settled dispute or litigation is one that has been resolved in accordance with the Dispute Resolution Mechanism under the respective contract and where all appeal instances available to the applicant have been exhausted. by itself, including as partner to past or existing JV/Consortium N/A by itself or as partner to past or existing JV/Consortium N/A Form CON Pending Litigation All pending litigation shall in total not represent more than 10% (ten percent) of the Applicant s net worth and shall be treated as resolved against the Applicant. by itself or as a partner to past or existing JV/Consortium N/A by itself or as a partner to past or existing JV/Consortium N/A Form CON 2

21 Section III. Qualification Criteria and Requirements 17 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 3. Financial Situation 3.1 Financial Performance Submission of audited financial statements, including balance sheets and income statements or, if not required by the laws of Applicant s country, other financial statements acceptable to Employer, for the last five (5) years to demonstrate the current soundness of Applicant s financial position and its prospective long term profitability. N/A N/A Form FIN 3.1 with attachments a.1 Average coefficient of Current ratio (Current Assets / Current Liabilities) a.2 Average coefficient of Debt ratio (Total Debt / Total Assets)

22 Section III. Qualification Criteria and Requirements 18 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 3.2 Financial Resources Applicant must demonstrate access to, or availability of, financial resources to meet: N/A N/A Form FIN 3.2 (a) Capacity to have a minimum cash flow amount as evidenced by cash in hand, in bank and assured line(s) of credit in an amount equivalent as follows: [insert amount and currency to be awarded [insert project name]. (b) Capacity to have cash in hand, in bank and assured line(s) of credit amount equivalent to the sum of the amounts indicated in the preceding paragraph (a) for the lot for which the Applicant seeks to pre-qualify and its current commitments. 3.3 Average Annual Construction Turnover (a) Minimum average annual construction turnover, calculated as total certified payments received N/A N/A Form FIN - 3.3

23 Section III. Qualification Criteria and Requirements 19 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity for contracts in progress or completed, over the last five (5) years. For award of: [insert project name] i) [insert amount and currency] ii) [insert amount and currency] iii) [insert amount and currency] iv) [insert amount and currency] v) [insert amount and currency] (b) Minimum turnover equivalent to the sum of the amounts indicated in the preceding paragraph (a) for the lot for which the Applicant seeks to prequalify. 1 All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 1 In order to be awarded the contract for [insert Lot number, if applicable], in addition to the previously awarded contract for [insert Lot number, if applicable], an Applicant would have to demonstrate that it can meet a turnover double the amount called for in 3.3(a) above.

24 Section III. Qualification Criteria and Requirements 20 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements Values to determine (a) and (b) will be obtained from the audited financial statements (income statements) of the last five years. 4.1 General Construction Experience Experience in road related construction contracts in the role of contractor, subcontractor, or management contractor for each of the last five (5) years prior to the Application submission deadline and with activity in at least nine (9) months in each year. N/A N/A Form EXP 4.1

25 Section III. Qualification Criteria and Requirements 21 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 4.2 (a) Must Similar meet Participation as Contractor, N/A N/A Form EXP--4.2(a) Construction Experience Management Contractor or Sub-Contractor, in at least two (2) contracts of similar nature within the last five (5) years, each with a value of at least: [insert amount and currency] that have been successfully and substantially completed and that are similar to the proposed works. The similarity shall be based on the physical size, complexity, methods, technology, and adherence to international standards for environment, social health and safety matters, or other characteristics as described in Section V, Scope of Works. 2 2 In order to be awarded the contract for [insert Lot number, if applicable], in addition to the previously awarded contract for [insert Lot number, if applicable], an Applicant would have to demonstrate that it can meet the for similar construction experience double the amount called for in 4.2(a) above.

26 Section III. Qualification Criteria and Requirements 22 Eligibility and Qualification Criteria Compliance Requirements Documentation No. Subject Requirement Single Entity All Parties Combined Joint Venture/Consortium Each Partner One Partner Submission Requirements 4.2 (b) Specific Construction Experience for Interchanges Participation as Contractor, Management Contractor or Sub-Contractor, in at least two (2) contracts of similar nature within the last five (5) years, each with a value of at least: N/A N/A Form EXP-- 4.2(b) [insert amount and currency] that have been successfully and substantially completed and that are similar to the proposed works. The similarity shall be based on the physical size, complexity, methods, technology, and adherence to international standards for environment, social health and safety matters, or other characteristics as described in Section V, Scope of Works. 3 3 In order to be awarded the contract for [insert Lot number, if applicable], in addition to the previously awarded contract for [insert Lot number, if applicable], an Applicant would have to demonstrate that it can meet the for specific construction experience for interchanges double the amount called for in 4.2(b) above.

27 Section III. Qualification Criteria and Requirements

28 Section III. Qualification Criteria and Requirements Contractor s Organization and Key Personnel Provide an organization chart of Contractor and each proposed subcontractor that shall be used for the proposed contract. In case of consortium or joint venture, the organization chart of each party shall be included. In addition, the Applicant shall demonstrate that it can provide the following Key Personnel. Key Personnel Capabilities Position Total Work/Business Experience in Similar Experience (Years) Position (Years) 1. [insert relevant positions] [insert min. number years required] [insert min. number of years required]

29 Section III. Qualification Criteria and Requirements Key Equipment: Estimated Minimum Requirements (Subject to further refinement at the time of issuance of solicitation for bids). Please indicate, in not more than two pages, how the Applicant would meet the minimum required number of equipment (e.g., owned, to be leased, to be purchased, etc.) for each lot for which Applicant is seeking to pre-qualify. The Applicant shall provide evidence of the availability of the equipment as an attachment to this Form. The Applicant shall justify the additional equipment with necessary supporting documents required for the project over and above the absolute minimum mentioned here below. EQUIPMENT CAPABILITIES Equipment Description Minimum No Required 1 [insert required equipment] [insert threshold]

30 Section IV. Application Forms 26 Section IV. Application Forms Table of Forms Application Submission Firm Form ELI-1.1 Applicant Information Form Form ELI -1.2 Applicant's Party Information Form Form CON 2 Historical Contract Non-Performance Form FIN 3.1 Financial Performance Form FIN 3.2 Financial Resources Form FIN-3.3 Average Annual Construction Turnover Form EXP-4.1 General Construction Experience Form EXP-4.2(a) Similar Construction Experience Form EXP-4.2(b) Specific Construction Experience... 42

31 Section IV. Application Forms 27 Application Submission Firm Date:[insert date] To: [insert address of Employer] Pre-Qualification for the [insert project name] Ref: [insert reference] We, the undersigned, apply to be Pre-Qualified for the Referenced Project, as follows: [insert project name]. and declare the following: (a) (b) (c) (d) (e) (f) (g) we have examined and have no reservations to the Pre-Qualification Documents, including Amendment(s) No(s), issued in accordance with Instructions to Applicants (ITA) Clause 8: [insert the number and issuing date of each amendment]. we, including any Sub-Contractors or Suppliers for any part of the Contract resulting from this pre-qualification process, have nationalities from eligible countries, in accordance with ITA Sub-Clause 4.3: [insert the nationality of the Applicant, including that of all partners in case of a Joint Venture/Consortium, and the nationality of each already identified subcontractor and supplier of related services, if applicable]; we, including any Sub-Contractors or Suppliers for any part of the Contract resulting from this Pre-Qualification, do not have any conflict of interest, in accordance with ITA Sub- Clause 4.4; we, including any subcontractors or suppliers for any part of the contract resulting from this prequalification, have not been declared ineligible by the Government of Ghana Laws, Official Regulations, or by an Act of Compliance with a decision of the United Nations Security Council, in accordance with ITA Sub-Clauses 4.6 and 4.7; [insert either "we are not a Government owned entity" or "we are a Government entity, and we meet the s of ITA Sub-Clause 4.5]; we, in accordance with ITA Sub-Clause 24.1, plan to subcontract the following key activities and/or parts of the works: [insert any of the key activities identified in Section III- 4.2 (b) which the Applicant intends to subcontract] we declare that the following commissions, gratuities, or fees have been paid or are to be paid with respect to the Pre-Qualification process, or the corresponding tendering process or the execution of the contract: Name of Recipient Address Reason Amount [insert full name for each occurrence] [insert street/ number/city/country] [indicate reason] [specify amount in GHS equivalent] (If none has been paid or is to be paid, indicate none.)

32 Section IV. Application Forms 28 (h) We understand that you may cancel the Pre-Qualification process at any time and that you are neither bound to accept any Application that you may receive nor to invite the Pre-Qualified Applicants to bid for the Contract, subject of this pre-qualification, without incurring any liability to the Applicants, in accordance with ITA Clause 26. Signed [insert signature(s) of an authorized representative(s) of the Applicant] Name [insert full name of person signing the Application] In the Capacity of [insert capacity of person signing the Application] Duly authorized to sign the Application for and on behalf of: Applicant s Name [insert full name of Applicant] Address [insert street number/town or city/country address] Dated on [insert day number] day of [insert month], [insert year]

33 Section IV. Application Forms 29 Form ELI-1.1 Applicant Information Form Date: [insert day, month, year] Page [insert page number] of [insert total number] pages Applicant's legal name [insert full legal name] In case of Joint Venture (JV) or Consortium, legal name of each partner: [insert full legal name of each partner in JV/Consortium] Applicant's actual or intended country of constitution: [indicate country of Constitution] Applicant's actual or intended year of constitution: [indicate year of Constitution] Applicant's legal address in country of constitution: [insert street/ number/ town or city/ country] Applicant's authorized representative information Name: [insert full legal name] Address: [insert street/ number/ town or city/ country] Telephone/Fax numbers: [insert telephone/fax numbers, including country and city codes] address: [indicate address] Attached are copies of original documents of Articles of Incorporation or Documents of Constitution, and documents of registration of the legal entity named above, in accordance with ITA 4.3. In case of JV/Consortium, letter of intent to form JV/Consortium or JV/Consortium agreement, in accordance with ITA 4.1. In case of Government owned entity, documents establishing legal and financial autonomy and compliance with commercial law, in accordance with ITA 4.5.

34 Section IV. Application Forms 30 Form ELI -1.2 Applicant's Party Information Form [The following form shall be filled in for the Applicant's parties including partner(s) of a joint venture, subcontractors, suppliers and other parties.] JV/Consortium Applicant legal name: [insert full legal name] Applicant's Party Legal Name: [insert full legal name of Applicant's Party] Applicant's Party Country of Registration: [indicate Country of Registration] Applicant Party's year of Constitution: [indicate year of Constitution] Applicant Party's Legal Address in Country of Constitution: [insert street/ number/ town or city/ country] Applicant Party's Authorized Representative Information Name: [insert full legal name] Address: [insert street/ number/ town or city/ country] Date: [insert day, month, year] Page [insert page number] of [insert total number of pages] Telephone/Fax numbers: [insert telephone/fax numbers, including country and city codes] address: [indicate address] Attached are copies, duly certified by Notary in English, of original documents of: Articles of Incorporation or Documents of Constitution, and Registration Documents of the legal entity named above, in accordance with ITA 4.3. In case of a Government owned entity, documents establishing legal and financial autonomy and compliance with commercial law, in accordance with ITA 4.5.

35 Section IV. Application Forms 31 Form CON 2 Historical Contract Non-Performance [The following table shall be filled in for the Applicant and for each partner of a Joint Venture/Consortium.] Applicant s Legal Name: [insert full name] Date: [insert day, month, year] Joint Venture/Consortium Party Legal Name: [insert full name] Page [insert page number] of [insert total number] pages Non-Performing Contracts in accordance with Section III, Qualification Criteria and Requirements Contract non-performance did not occur during the [number] years specified in Section III, Qualification Criteria and Requirements, Sub-Factor 2.1. Contract(s) not performed during the [number] years specified in Section III, Qualification Criteria and Requirements, Sub-Factor 2.1. Year Non performed portion of contract Contract Identification Total Contract Amount (current value, GHS equivalent) [insert year] [insert amount and percentage] Contract Identification: [indicate complete contract name/ number, and any other identification] Name of institution: [insert full name] [insert amount] Address of institution: [insert street/city/country] Reason(s) for non performance: [indicate main reason(s)] Pending Litigation, in accordance with Section III, Qualification Criteria and Requirements No pending litigation in accordance with Section III, Qualification Criteria and Requirements, Sub- Factor 2.2. Pending litigation in accordance with Section III, Qualification Criteria and Requirements, Sub- Factor 2.2 as indicated below.

36 Section IV. Application Forms 32 Year Outcome as Percentage of Total Assets Contract Identification Total Contract Amount (current value, GHS equivalent) [insert year] [insert percentage] Contract Identification: [indicate complete contract name, number, and any other identification] [insert amount] Name of institution: [insert full name] Address of institution: [insert street/city/country] Matter in dispute: [indicate main issues in dispute]

37 Section IV. Application Forms 33 Form FIN 3.1 Financial Performance [The following table shall be filled in for the Applicant and for each partner of a Joint Venture/Consortium.] Applicant s Legal Name: [insert full name] Applicant s Party Legal Name: [insert full name] Page [insert page number] of [insert total number] pages Date: [insert day, month, year] 1. Financial data Financial information in (GHS equivalent in 000s) Historical information for previous five years (GHS equivalent in 000s) Year 1 Year 2 Year 3 Year 4 Year 5 Information from Balance Sheet Total Assets (TA) Total Liabilities (TL) Net Worth (NW) Current Assets (CA) Current Liabilities (CL) Information from Income Statement Total Revenue (TR) Profits Before Taxes (PBT)

38 Section IV. Application Forms Financial Documents The Applicant and its parties shall provide copies in English or translated to English, of the Balance Sheets and Income Statements for five years pursuant Section III, Qualifications Criteria and Requirements, Sub-Factor 3.1. The Financial Statements shall: (a) (b) (c) (d) reflect the financial situation of the Applicant or partner to a JV/Consortium, and not sister or parent companies. be audited by a certified accountant. be complete, including all notes to the financial statements. correspond to accounting periods already completed and audited (no statements for partial periods shall be requested or accepted). Attached are copies of financial statements (balance sheets, including all related notes, and income statements) for the five years required above; and complying with the s.